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Going Public Transactions, Corporate Governance and Ongoing Compliance Services

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If you are looking to go public to raise growth capital to scale the business and keep your foot on the pedal and/or seeking shareholder liquidity, with my background and years of experience  running publicly traded companies listed in Canada and the USA, I can advise and help guide the board, CEO and management team in the following areas:​

Three Phases in the IPO/RTO Journey:

  • Phase 1  (1-2 Years prior to IPO​)

    • Early decision focus to support being public

    • Evolve policies and practices, corporate governance

    • Build relationships with investors, analysts, press, media

    • Optimal Share Structuring – including Stock Option Plans for Management and Employees

    • Determine Amount  of Funding Required to execute business plan

    • Planned Use of Proceeds - to fund organic growth, finance M&A transactions

    • Valuation Forecasting. Targeted Share Price Ranges for Capital Raises, Share Cap and Dilution Tables

    • Educate Board, Management and Employees

    • Engage auditors / contract CFO to produce Audited Financial Statements

    • Develop/Tweak Strategic Plan, Business Plan, Financial Models and Investor Pitch Deck/Powerpoint

  • Phase 2  (The IPO​ Process)

    • Project management - evaluate and select public company option vehicle, establish realistic timelines, budgets, assignment of leaders, support teams (internal and external) and deliverables;

    • Public Company Options and Supporting Documentation:

      • Initial Public Offering (IPO) Planning & Preparation; Business Plan and Executive Summary ; Road Show Planning; Investor PitchDeck and Story Telling to Raise Growth Capital

      • Reverse Take Over (RTO) Planning & Administration& Selection of Target. May include Capital Pool Corporations (CPC)

      • Direct Listing (New) as an option for employees and investors to convert their ownership into tradeable stock listed on an exchange

      • Initial Coin Offering - ICO

    • Liase and work with management and the securities attorneys, auditors, regulators, valuators, exchanges, investment bankers, underwriters and brokers thoughout the IPO, RTO and Direct Listing process

    • Completing a Listing Statement containing Prospectus Level of Disclosure

    • Team/roles -External and Internal

      • Working with auditors, corporate securities attorneys and the board of directors to ensure proper oversite of company disclosures, including financial results, data room

      • Choosing the right Transfer Agents, Filing Agents

      • PR / News Releases Communications

      • D&O Insurance Coverage and Procurement

      • CEO, CFO Certifications/ Investor Relations VP 

    • Messaging; internal and external

    • Documentation creation; SEC /SEDAR / SEDI Filings

    • Be ready for the day after

  • Phase 3 (Newly Public​)

    • Communications and Public Image

    • Investor and Shareholder Relations

    • Corporate Governance, Board Structure and filling Committees -  Executive Compensation, Audit and Finance etc.

    • SEC/SEDAR reporting and deadlines; XBRL​ (Ineractive Data) Agents

    • Working with Sedar and SEC Filing Service Agents/Providers

    • Quarterly and Annual Management Discussion and Analysis Reporting (MD&A)

    • Earnings release, EPS, metrics

    • Regulatory Compliance Reporting and Administration in Canada and the USA

      • ​Insider Trading Reporting

      • Material Change Reporting and Filings

      • (10K,10Q, 8K, 6K, 20F, AIF); US GAAP & IFRS; XBRL

      • Administration of Escrow Shares and Employee Stock Options

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